Experience

• Internal Investigations

  • A special committee of the Board of a public company in reviewing and advising on a sensitive matter.
  • An internal review for a special committee of a large retailer arising from a data breach.
  • An internal review for the Audit Committee of a multinational agriculture biotechnology company into revenue recognition issues reported by a whistleblower to the SEC.
  • An internal review for the audit committee of a large consumer finance company relating to accounting issues raised by a whistleblower.
  • An internal review for a large national bank of accounting issues relating to the disposition of certain private equity investments.
  • An internal review for a multinational technology company into revenue recognition and other accounting issues raised by a whistleblower in a foreign subsidiary.
  • An internal review for the Audit Committee of BG Group relating to issues arising in an investigation by Italian authorities into allegations of corruption in a project in Brindisi, Italy.
  • An internal review for a special committee of a leading online brokerage firm arising from a shareholder derivative demand relating to sales of auction rate securities.
  • An internal review for the legal department of a multinational carmaker into allegations set forth by anonymous whistleblowers concerning internal audit and compliance issues.
  • An internal review of a whistleblower allegation relating to tax reserves and other accounting issues at a major consumer products company.
  • An internal review for a special committee of a European-based telecommunications company into revenue recognition issues raised by its auditors under Section 10A.
  • An internal review under Section 10A for a large pharmaceutical company into a number of accounting issues raised in the press and related to the company’s restatement.

• Company Representations

  • A venture capital firm in relation to DOJ’s investigation of FTX and prosecution of Sam Bankman-Fried and others.
  • A food and beverage packaging manufacturer in securing the termination of an SEC insider trading investigation relating to trading activity by four executives.
  • Boeing in a settlement with the SEC over public statements regarding the 737 MAX.
  • A large non-bank financial institution in an SEC investigation relating to various accounting issues in its mortgage origination and servicing businesses.
  • KKR in its settlement with the SEC relating to the allocation of broken deal expenses between its investment funds.
  • JPMorgan Chase in SEC and other regulatory investigations relating to the issuance of RMBS securities.
  • One of the world’s largest financial institutions in SEC, FINRA and other regulatory inquiries relating to the Facebook IPO.
  • Deutsche Telekom in United States Department of Justice and SEC investigations relating to payments made by its Hungarian subsidiary, Magyar Telekom.
  • European member firm of a Big Four auditor in a PCAOB inquiry relating to auditor independence issues.
  • Dollar General Corporation in securities class actions, shareholder derivative actions and an SEC investigation related to Dollar General’s 2001 restatement.
  • MicroStrategy in an SEC investigation relating to the company’s restatement of accounting for sales of computer software.
  • Barrick Gold Corporation in a successful resolution of a U.S. securities class action arising from its suspension of operations at its Pascua Lama mine and in a subsequent class action relating to another South American mine.
  • A large media company in an SEC investigation relating to impairment and reserve accounting issues.

• Individual Representations

  • The former CEO of Valeant Pharmaceuticals (now Bausch Health) in government investigations and civil securities class actions and other litigation relating to the company’s restatement and sales practices.
  • Outside Board members and Audit Committee of a healthcare company in government investigations relating to accounting and FCPA issues.
  • A former senior financial executive of Lumber Liquidators in securities class action, shareholder derivative litigation, and government investigations arising from reports of tainted flooring products.
  • A former senior executive of a biotech company in securities class actions, shareholder derivative litigation and an SEC investigation arising from the actions of certain investor and public relations firms hired by the company.
  • Successful defense of a former senior financial executive of Fannie Mae in multiple securities class actions and other civil litigation arising out of the financial crisis.
  • A former financial executive of AOL Time Warner in an SEC action arising out of the company’s restatement.
  • The former CEO of a reinsurance company in securities class actions and individual lawsuits arising out of the company’s disclosure of losses from Hurricane Katrina.
  • A successful defense of a senior financial executive of General Electric in an SEC investigation arising from the company’s restatements.
  • Successful defense of former BISYS senior financial officer in an SEC investigation arising from a restatement.
  • A former chief financial officer of an equipment leasing company in SEC and Department of Justice investigations into securities fraud.
  • Successful defense of a former senior American International Group employee in an SEC investigation arising out of certain off-balance sheet transactions with a national bank.
  • Successful defense of a hedge fund managing director in an SEC insider trading investigation involving PIPEs transactions.